Author: Jeff Erez
UBS Financial Services Inc. broker James Hilton Sr. (CRD# 1253959) regarding is accused of annuity losses. He has been registered with UBS Financial Services Inc. in Newport, Rhode Island, since 2013. James Hilton Sr. Customer Complaints He has been the … Continue reading
Cambridge Investment Research, Inc. broker Alexander Kline (CRD# 1271785) is accused of real estate investment losses. He has been registered with Cambridge Investment Research, Inc. in Pittsburgh, Pennsylvania, since 2011. Previously, he was registered with Prospera Financial Services, Inc. in … Continue reading
Former Stifel, Nicolaus & Company, Incorporated broker Patty Dawson (CRD# 1280879) faces a million-dollar-plus customer complaint related to negligence accusations. She was registered with Stifel, Nicolaus & Company, Incorporated in Ann Arbor, Michigan, from 2005 to 2023. Patty Dawson Customer … Continue reading
Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Alan Dalewitz (CRD# 1437051) regarding private placement losses. He has been registered with Herbert J. Sims & Co, Inc. in Red Bank, New Jersey, since 2006. Alan Dalewitz … Continue reading
There are options for clients of Morgan Stanley broker John Tofilon (CRD# 1354314) who suffered investment losses. He has been registered with Morgan Stanley in Barrington, Illinois, since 2009. John Tofilon Customer Complaints He has been the subject of one … Continue reading
Erez Law is currently investigating National Securities Corporation broker Frank Avallone (CRD# 4814368) regarding unsuitable investment recommendations. He has been registered with National Securities Corporation in South Norwalk, Connecticut, since 2015. Frank Avallone Customer Complaints He has been the subject … Continue reading
There are options for clients of Herbert J. Sims & Co., Inc. broker Stacy Goldsmith (CRD# 1416323) who suffered investment losses. She has been registered with Herbert J. Sims & Co., Inc. in Red Bank, New Jersey, Since 2012. Stacy … Continue reading
Were you the victim of LPL Financial LLC broker Joanna Westcott (CRD# 1187278)? He has been registered with LPL Financial LLC in Tucson, Arizona, since 2002. Joanna Westcott Customer Complaints She has been the subject of one customer complaint, according … Continue reading
Former Summit Brokerage Services, Inc. broker Richard Brown (CRD# 1595628) is accused of real estate investment losses. He has been registered with Cetera Advisor Networks LLC in Fort Myers, Florida, since 2019. Previously, he was registered with Summit Brokerage Services, … Continue reading
Erez Law is currently investigating former Great Point Capital LLC broker Robert Lorente (CRD# 1425180), who is accused of real estate investment losses. He was registered with Aurora Securities in Livonia, Michigan, from 2022 to 2023. Previously, he was registered … Continue reading